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4//SEC Filing

Liquid Holdings Group, Inc. 4

Accession 0001144204-14-014436

CIK 0001562594operating
View on SEC.govCompany Profile

Filed

Mar 9, 8:00 PM ET

Accepted

Mar 10, 2:36 PM ET

Size

20.2 KB

Accession

0001144204-14-014436

Insider Transaction Report

Form 4
Period: 2014-03-06
Liquid Holdings Group, Inc.LIQD
VON ALLMEN DOUGLAS J
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-03-06$5.27/sh+600$3,162→ 4,984,294 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.28/sh+700$3,696→ 4,984,994 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.30/sh+10,000$53,000→ 4,994,994 total(indirect: By D&L Partners, L.P.)
Holdings

  • Common Stock

    (indirect: By Trust)
    690,500

  • Common Stock

    (indirect: By Von Allmen Partners, L.P.)
    219,556

  • Common Stock

    (indirect: By NGNG, Inc.)
    110,258
D & L Management Corp
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-03-06$5.30/sh+10,000$53,000→ 4,994,994 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.28/sh+700$3,696→ 4,984,994 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.27/sh+600$3,162→ 4,984,294 total(indirect: By D&L Partners, L.P.)
Holdings

  • Common Stock

    (indirect: By Von Allmen Partners, L.P.)
    219,556

  • Common Stock

    (indirect: By NGNG, Inc.)
    110,258

  • Common Stock

    (indirect: By Trust)
    690,500
Von Allmen Partners, L.P.
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-03-06$5.28/sh+700$3,696→ 4,984,994 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.27/sh+600$3,162→ 4,984,294 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.30/sh+10,000$53,000→ 4,994,994 total(indirect: By D&L Partners, L.P.)
Holdings

  • Common Stock

    (indirect: By Von Allmen Partners, L.P.)
    219,556

  • Common Stock

    (indirect: By NGNG, Inc.)
    110,258

  • Common Stock

    (indirect: By Trust)
    690,500
D & L Partners, L.P.
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-03-06$5.28/sh+700$3,696→ 4,984,994 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.30/sh+10,000$53,000→ 4,994,994 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.27/sh+600$3,162→ 4,984,294 total(indirect: By D&L Partners, L.P.)
Holdings

  • Common Stock

    (indirect: By Trust)
    690,500

  • Common Stock

    (indirect: By NGNG, Inc.)
    110,258

  • Common Stock

    (indirect: By Von Allmen Partners, L.P.)
    219,556
VA Family, LLC
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-03-06$5.28/sh+700$3,696→ 4,984,994 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.30/sh+10,000$53,000→ 4,994,994 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.27/sh+600$3,162→ 4,984,294 total(indirect: By D&L Partners, L.P.)
Holdings

  • Common Stock

    (indirect: By NGNG, Inc.)
    110,258

  • Common Stock

    (indirect: By Trust)
    690,500

  • Common Stock

    (indirect: By Von Allmen Partners, L.P.)
    219,556
Von Allmen Linda
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-03-06$5.27/sh+600$3,162→ 4,984,294 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.30/sh+10,000$53,000→ 4,994,994 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.28/sh+700$3,696→ 4,984,994 total(indirect: By D&L Partners, L.P.)
Holdings

  • Common Stock

    (indirect: By Trust)
    690,500

  • Common Stock

    (indirect: By NGNG, Inc.)
    110,258

  • Common Stock

    (indirect: By Von Allmen Partners, L.P.)
    219,556
NGNG, Inc
10% Owner
Transactions
  • Purchase

    Common Stock

    2014-03-06$5.27/sh+600$3,162→ 4,984,294 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.28/sh+700$3,696→ 4,984,994 total(indirect: By D&L Partners, L.P.)
  • Purchase

    Common Stock

    2014-03-06$5.30/sh+10,000$53,000→ 4,994,994 total(indirect: By D&L Partners, L.P.)
Holdings

  • Common Stock

    (indirect: By Von Allmen Partners, L.P.)
    219,556

  • Common Stock

    (indirect: By Trust)
    690,500

  • Common Stock

    (indirect: By NGNG, Inc.)
    110,258
Footnotes (4)
  • [F1]These shares are owned directly by D&L Partners, L.P. ("D&L Partners"). The general partner of D&L Partners is D&L Management Corporation ("D&L Management"). The controlling shareholders of D&L Management are Douglas Von Allmen and Linda Von Allmen.
  • [F2]These shares are owned directly by Von Allmen Dynasty Trust (the "Trust"). The trustee of the Trust is Linda Von Allmen.
  • [F3]These shares are owned directly by Von Allmen Partners, L.P. ("VA Partners"). The general partner of VA Partners is VA Family, LLC ("VA Family"). The manager of VA Family is Douglas Von Allmen.
  • [F4]These shares are owned directly by NGNG, Inc. ("NGNG"). The controlling shareholder of NGNG is Douglas Von Allmen.

Documents

1 file

Issuer

Liquid Holdings Group, Inc.

CIK 0001562594

→
Entity typeoperating
IncorporatedDE

Related Parties

1
  • filerCIK 0001562594

Filing Metadata

Form type
4
Filed
Mar 9, 8:00 PM ET
Accepted
Mar 10, 2:36 PM ET
Size
20.2 KB
View on SEC.gov